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Elements and Performance Criteria

  1. Clarify the purpose and scope of the research
  2. Develop the research plan
  3. Gather required research data
  4. Analyse the collected data
  5. Determine research findings and outcomes
  6. Document and disseminate the outcomes of the research

Required Skills

This unit covers the research activities needed to explore and investigate various aspects and issues associated with compliance requirements and a related compliance programmanagement system It may be focused on researching aspects and issues to do with compliance requirements and system for a specific organisation or aspects and issues of compliance more generally such as across a particular industry or the national economy

Business management services

Domain

Compliance management

Application of the Competency

This unit applies to the higherlevel research activities needed to identify and investigate critical aspects of compliance requirements and related systems

It could be undertaken by officers in regulatory authorities or other organisations with roles and responsibilities related to identifying and investigating impacts issues and policy implications of various aspects of compliance It also covers the competencies required by an internal or external consultant who carries out research activities for clients on various aspects of compliance

While competence in this unit requires the demonstration of a core of knowledge associated with the general research processes generally there is also a variable knowledge set related to the range of generic and specific legislative requirements codes of practice standards and procedures relevant to the persons roles and responsibilities

This unit differs from BSBCOMA Identify and interpret compliance requirements as the research activities involve higher order competence aimed at carrying out research into a wide potential range of compliance related aspects and issues such as the costs of compliance the potential impact of compliance on an organisation or industry and the risks and consequences of non compliance In contrast BSBCOMA is more narrowly focused on identifying and interpreting the specific legislative requirements codes of practice and internal standards and procedures as these relate to a particular organisation

This unit differs from BSBCOM501A Identify and interpret compliance requirements, as the research activities involve higher- order competence aimed at carrying out research into a wide potential range of compliance related aspects and issues, such as the costs of compliance, the potential impact of compliance on an organisation or industry, and the risks and consequences of non- compliance. In contrast, BSBCOM501A is more narrowly focused on identifying and interpreting the specific legislative requirements, code(s) of practice and internal standards and procedures as these relate to a particular organisation.

This unit is intended to ensure that compliance is an integral part of normal business operations

Application of this unit must be consistent with the pertinent sections of relevant Australian and international standards and legislative requirements including AS Compliance Programs AS Complaints Handling ANZS Risk Management and AS ISO Records Management

Element

Performance Criteria

Elements define the critical outcomes of a unit of competency.

The Performance Criteria specify the level of performance required to demonstrate achievement of the Element Italicised terms are elaborated in the Range Statement

Clarify the purpose and scope of the research

The purpose and scope of the required compliance related research is confirmed and clarified in collaboration with the clients and relevant internal andor external personnel

The purpose and scope of the required research is documented in accordance with organisational andor client requirements

Develop the research plan

A suitable research methodology is developed to enable sufficiently valid and reliable outcomes for the required research

The research plan for the proposed project is prepared

Approval of plan is obtained from relevant internal andor external personnel

Gather required research data

Relevant research data is collected using appropriate research techniques and sources in accordance with the agreed research plan

Information on relevant Australian and International standards pertaining to compliance requirements and related systems is gathered and interpreted from appropriate sources

Collected data is organised interpreted and reviewed in terms of its relevance to the projects purpose and objectives

Ambiguities uncertainties and problems experienced while interpreting collected data are discussed and addressed appropriately in conjunction with relevant internal or external personnel

Interpreted research data is organised for later analysis

Analyse the collected data

Data is analysed in accordance with planned methodology

Outcomes of the analysis are reviewed and discussed with relevant internal or external personnel

Determine research findings and outcomes

The outcomes of the analysis of data are interpreted in accordance with the project objectives

Preliminary findings any identified issues and related recommendations are developed and discussed with relevant internal andor external personnel

Any additional data collection and analysis required to clarify aspects of findings issues and related action options is undertaken if necessary

Document and disseminate the outcomes of the research

A draft report of the outcomes findings and recommendations of the research is prepared in accordance with the agreed structure and format and distributed to relevant internal andor external personnel for comment and feedback

The report is edited based on the feedback obtained

The report is proofread prior to publication

The report of outcomes findings and recommendations of the research is signed off by authorised personnel

The report is produced and disseminated to nominated internal andor external personnel in accordance with agreed arrangements

Evidence Required

The Evidence Guide provides advice to inform and support appropriate assessment of this unit It contains an overview of the assessment requirements followed by identification of specific aspects of evidence that will need to be addressed in determining competence The Evidence Guide is an integral part of the unit and should be read and interpreted in conjunction with the other components of competency

Assessment must reflect the endorsed Assessment Guidelines of the parent Training Package

Overview of Assessment Requirements

A person who demonstrates competence in this standard must be able to provide evidence that they have successfully completed at least three projects aimed at researching key aspects or issues associated with compliance requirements or a compliance programmanagement

system The research projects may be undertaken externally for an organisation such as a larger organisation or a regulatory authority or internally within an organisation as a compliance officer internal compliance researcher or member of a compliance management team usually within a larger organisation

Evidence will include

demonstration of core skills and knowledge required in conducting research projects

demonstration of the specific skills and knowledge that may be uniquely required to carry out research in particular compliance areas such as insurance transport credit food production banking etc andor on specific issues such as impact of compliance costs of compliance risks of noncompliance scope of compliance requirements

Note dependent on the size of the type of research involved and the scope of its purpose and objectives the depth breadth and complexity of skills and knowledge to conduct compliance related research may vary

Specific Evidence Requirements

Required knowledge and understanding include

research methods and techniques suitable for compliance related research projects

sources of data relevant to compliance related research

quantitative and qualitative data analysis techniques relevant to compliance related research

relevant Australian and international standards including but not limited to

AS Compliance Programs

AS Complaints Handling

ANZS Risk Management

AS ISO Records Management

compliance requirements relevant to the organisation

elements of compliance programmanagement systems including

specification of compliance management functions accountabilities and responsibilities within the organisation

compliance related management information systems

recordkeeping systems required for compliance management

liaison procedures with relevant internal and external personnel on compliance related matters

breach management policies and processes including the identification classification investigation rectification and reporting of breaches in compliance requirements

compliance reporting procedures

corporate induction and training processes related to compliance management

processes for the internal and external promulgation and promotion of information on compliance requirements and compliance programmanagement system

compliance complaints handling systems

continuous improvement processes for compliance including monitoring evaluation and review

strategies for development of a positive compliance culture within the organisation

techniques and performance indicators for monitoring the operation of a compliance programmanagement system

reporting processes on compliance management including reports on breaches and rectification action

relevant organisational policies and procedures including

compliance plans and policies in various compliance areas

organisational standards for operations and ethics

Required skills and attributes include

ability to relate to people from a range of social cultural and ethnic backgrounds and physical and mental abilities

ability to contribute to a positive culture of compliance within an organisation

research skills to

conduct literature and web searches

conduct various types of research surveys

analyse and organise research data including qualitative and quantitative data using appropriate techniques

research management skills to

develop research plans

manage other personnel involved in the research activity

manage time

manage finances

communication and interpersonal skills

written and verbal communication skills

ability to relate to internal and external personnel and in particular those representing relevant regulatory authorities professional institutes and organisations standards organisations etc

Key competencies or generic skills relevant to this unit

The seven key competencies represent generic skills considered essential for effective work participation Innovation skills represent a further area of generic competence The bracketed numbering indicates the performance level required in this unit

Level represents the competence to undertake tasks effectively

Level represents the competence to manage tasks

Level represents the competence to use concepts for evaluating and reshaping tasks

The bulleted points provide examples of how the key competencies can be applied for this unit

Communicating ideas and information

consulting with others and sharing ideas in the course of surveys and other research activities

communicating with internal andor external clients for the research project

Collecting analysing and organising information

gathering and analysing data as per research plan

sorting and organising outcomes of data analysis

Planning and organising activities

preparing the project plan for the research activities

Working in a team

managing the work of others performing specific functions as part of a compliance related research project

Using mathematical ideas and techniques

conducting quantitative data analysis within a compliance related research project

Solving problems

solving problems arising in the conduct of a compliance related research project

Using technology

using computers and software packages for the collection processing and analysis of research data

Innovation skills

recognising and creating opportunities for innovative data analysis activities that may improve the efficiency reliability and validity of the research processes and outcomes

Products that could be used as evidence include

research plans

outcomes of the data collection processes

summaries of the outcomes of data analysis

diaries and other records of research processes used

draft and final research reports

Processes that could be used as evidence include

how the literature and web searches were conducted

how data collection methods were implemented

how data analysis was conducted

how feedback on draft findings issues and recommendations was obtained and interpreted

how personnel performing relevant compliance research activities were managed

how research report was drafted and edited

Resource implications for assessment include

access to relevant published material such as

organisational policies standard operating procedures procedures and plans

relevant legislation regulations licensing requirements codes of practice standards

access to the relevant internal and external data files

access to appropriate computer resources for online searching data processing and analysis and report preparation and editing

Validity and sufficiency of evidence requires

that where assessment is part of a learning experience evidence will need to be collected over a period of time involving both formative and summative assessment

full documentation of the successful conduct of at least three compliance related research projects These may be suitably simulated projects or actual research projects planned and implemented for internal or external clients

Integrated competency assessment means

that this unit can be assessed alone or as part of an integrated assessment activity involving other relevant compliance management units or related records management units


Range Statement

The Range Statement adds definition to the unit by elaborating critical or significant aspects of the performance requirements of the unit. The Range Statement establishes the range of indicative meanings or applications of these requirements in different operating contexts and conditions. The specific aspects which require elaboration are identified by the use of italics in the Performance Criteria.

Legislation, codes and national standards relevant to the workplace may include:

• award and enterprise agreements and relevant industrial instruments

• relevant legislation from all levels of government that affects business operation, especially in regard to occupational health and safety (OHS) and environmental issues, equal opportunity, industrial relations and anti-discrimination

• relevant industry codes of practice

Purpose and scope of compliance related research may include but is not limited to:

• potential impacts of compliance requirements upon an organisation, an industry or an economy

• program and system requirements for effective compliance management

• costs of compliance at the organisation or wider levels

• potential consequences of non-compliance at the organisation or wider levels

• skill requirements and organisational structures for effective compliance management

• investigation of relevant jurisdictional aspects of compliance covering:

- organisational issues

- industry issues

- local issues

- state issues

- national issues

- global issues

Client(s) for the research may include but are not limited to:

• regulatory authorities

• enterprises

• government departments

• professional associations and institutes

• educational institutions and organisations

Relevant internal and/or external personnel might include but are not limited to:

• chief executive officer

• board of directors

• senior management team

• frontline managers

• compliance management team (where relevant)

• compliance specialists at the operational level

• representatives of relevant authorities in pertinent compliance areas

• chief executives and managers in organisations with an interest in the compliance issues being researched

• representatives of professional associations and institutes relevant to the organisation's operations and sphere of business

• legal and business advisors and consultants with expertise and interest in compliance requirements and related management systems

Research methodology may include but is not limited to:

• literature searches including web searches

• environmental scans

• surveys including interviews, focus groups, questionnaires

• desk analysis

• quantitative data analysis using manual and computerised techniques

• qualitative data analysis

Research plan may include but is not limited to:

• details of the research objectives and deliverables

• methodology

• timelines and milestones

• costs

• personnel required including project manager, the researcher or research team and those who may be consulted during the course of the research activities

Research data may include but is not limited to:

• published documents including papers, standards, regulations

• document files downloaded from Internet websites

• completed survey questionnaires

• records of interviews, meetings or focus group workshop outcomes

• written correspondence including letters, faxes, emails

• records of telephone conversations

• quantitative data collected from various sources, such as ABS data, data provided by regulatory authorities, demographic data

Relevant Australian and international standards may include but are not limited to:

• AS 3806: Compliance Programs

• AS 4269: Complaints Handling

• A/NZS 4360: Risk Management

• AS ISO 15489: Records Management

Authorised personnel may include but are not limited to:

• project manager

• project steering committee

• chief executive officer or manager in an organisation

• nominated representative of a regulatory authority

• nominated representative of a professional association(s) or institute(s)

• nominated representative of a educational institution(s) or organisation(s)